All United States articles – Page 8
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POSaBIT appoints chief compliance officer
POSaBIT Systems Corp., a financial technology company serving the cannabis industry, announced the appointment of Sarah Mirsky-Terranova as chief compliance officer.
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TuSimple promotes deputy GC to general counsel
Autonomous driving technology company TuSimple announced the promotion of Deputy General Counsel and Corporate Secretary Evan Dunn to general counsel.
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ArticleBanking regs set 2023 stress test scenarios
Banking regulators unveiled new stress test requirements for the largest financial institutions, including a series of hypothetical global market shocks six banks will be required to face.
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Kraken to pay $30M for unregistered crypto ‘staking’ product
The Securities and Exchange Commission slapped $30 million in penalties and fees on cryptocurrency exchange Kraken, part of the agency’s ongoing pushback against unregistered crypto products.
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Sens press telehealth firms on alleged sharing of patient data for ads
A bipartisan group of senators is leaning on three telehealth firms accused of tracking and sharing patients’ sensitive personal information with advertising platforms like Google and Facebook.
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Societe Generale says SEC probing employee off-channel comms
French bank Société Générale is the latest financial institution to be swept up in U.S. regulators’ crackdown on the use of personal cellphones and private apps by employees to conduct official business.
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Avantax appoints chief compliance officer
Avantax, a tax consulting service, announced the appointment of Melissa Loner as vice president and chief compliance officer.
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New York Life promotes managing director to chief diversity officer
Mutual fund insurer New York Life announced the promotion of Managing Director Jomil Guerrero to chief diversity officer.
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American Water Works names chief DEI officer
American Water Works Company announced the appointment of Lori Sutton as chief diversity, equity, and inclusion officer.
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False Claims Act settlements net lower return in FY2022
Penalties assessed for violations of the False Claims Act topped $2.2 billion during fiscal year 2022, less than half the mark the Department of Justice reached the previous year.
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CVS Health appoints chief DEI officer
CVS Health announced the appointment of Shari Slate as senior vice president and chief diversity, equity, and inclusion officer.
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SEC exam report highlights Marketing Rule, Reg BI, private fund advisers
The Securities and Exchange Commission’s 2023 examination priorities report laid out areas under the microscope this year, including compliance with the agency’s Marketing Rule and Regulation Best Interest.
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Treasury report flags benefits, drawbacks to use of cloud services
The Treasury Department issued a report regarding the benefits and challenges associated with the use of cloud service providers by financial sector firms, finding shortcomings related to transparency, staff support, and cybersecurity incident response.
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Banner Health to pay $1.25M over HIPAA Security Rule lapses
Banner Health agreed to pay $1.25 million as part of a settlement with the Department of Health and Human Services addressing violations of the Health Insurance Portability and Accountability Act Security Rule regarding a 2016 data breach.
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Ex-Coinbase manager pleads guilty in landmark crypto insider trading case
Ishan Wahi, a former Coinbase product manager, pleaded guilty to wire fraud conspiracy in the first cryptocurrency insider trading case.
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Lee Enterprises flags ICFR weaknesses following internal review
Lee Enterprises, the media company that owns the St. Louis Post-Dispatch and 76 other newspapers nationwide, concluded its internal controls over financial reporting were not effective for the fiscal year ended Sept. 25, 2022.
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Cybersecurity challenges: Defense and disclosure
Experts share perspectives regarding the criticality of cybersecurity risks, what the response of management and boards should be, and how proposed disclosure requirements need to be incorporated into cyber-related responsibilities.
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Etsy recruits general counsel from Meta
Online retailer Etsy announced the appointment of Colin Stretch as chief legal officer and corporate secretary.
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Altus Power adds sustainability to chief legal officer’s role
Solar facilities developer Altus Power announced Chief Legal Officer Sophia Lee will be adding sustainability to her responsibilities.
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DOJ withdraws healthcare antitrust policies with safe harbors
The Department of Justice announced the withdrawal of three guidance documents related to mergers and antitrust in healthcare, after labeling the policy statements “outdated” and “overly permissive.”
